Park Avenue Securities LLC

Park Avenue Securities LLC Securities Lawyers

October 24, 2026 | by Staff Attorney

We represent clients of financial advisors and brokerage firms in investment disputes against their firms, such as Park Avenue Securities LLC. Our services cover a wide spectrum of broker misconduct, including unsuitable investments, failure to supervise, and losses in various investment products. Our firm can analyze your brokerage accounts, determine the extent of your investment losses, and understand the issues and remedies available.

Park Avenue Securities is a broker-dealer and registered investment adviser that sells mutual funds, variable annuities, variable life insurance, 401(k) plans, and advisory services to retail customers through agencies affiliated with Guardian. Formed in Delaware in 1998, the firm is a wholly owned subsidiary of The Guardian Life Insurance Company of America and introduces its brokerage trades to Pershing on a fully disclosed basis.

Park Avenue Securities LLC – By the Numbers:

Broker Brandon Capps in Park Avenue Securities LLC Firm Has Customer Complaint

August 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Capps (Capps), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Capps recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $750,000.00 on April 06, 2026.

Clients allege the RR misrepresented the performance of advisory products and relayed inaccurate and misleading fee and compensation information. The firm denied the complaint. Customers later filed litigation and arbitration based on the same allegations, seeking damages to be determined.

There are Recent Customer Complaints with Broker Robert Wynn in Firm Park Avenue Securities LLC

August 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Wynn (Wynn), previously associated with Park Avenue Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wynn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on June 30, 2020.

Claimants allege the RR invested their money in unsuitable investments based on their stated investment objectives.

Broker Christopher Deyoung in Park Avenue Securities LLC Firm Has Customer Complaint

July 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Deyoung (Deyoung), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Deyoung recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $10,000.00 on March 16, 2020.

The Customer alleged his instructions to reallocate his account holdings were not processed as expected, resulting in a $10,000 loss. The Customer is requesting to be reimbursed for the losses.

Broker John Kwit in Park Avenue Securities LLC Firm Has Customer Complaint

July 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Kwit (Kwit), previously associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kwit recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $125,000.00 on March 19, 2020.

Former clients alleged that in 2018 mr. Kwit liquidated investments resulting in excessive capital gains and principal losses

Broker Erik Antener in Park Avenue Securities LLC Firm Has Customer Complaint

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Antener (Antener), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Antener recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $150,000.00 on February 11, 2026.

Customer filed a FINRA arbitration alleging, among other things, that the registered representative engaged in unauthorized and unsuitable trading in connection with her investment accounts, including allegations that trades were effected without her knowledge or consent and without proper authorization. The matter remains pending.

There are Recent Customer Complaints with Broker William Bass in Firm Park Avenue Securities LLC

May 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Bass (Bass), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bass recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $200,000.00 on December 02, 2020.

Customer alleged the RR provided incorrect information related to a defined benefit plan, which resulted in the plan incurring tax consequences.

Broker Robert Wynn in Park Avenue Securities LLC Firm Has Customer Complaint

April 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Wynn (Wynn), previously associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wynn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on June 30, 2020.

Claimants allege the RR invested their money in unsuitable investments based on their stated investment objectives.

Broker Caleb Stephens in Park Avenue Securities LLC Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Caleb Stephens (Stephens), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stephens recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $72,000.00 on January 17, 2021.

The client alleges that the financial advisor provided poor advice regarding July 2017 IRA distribution.

There are Recent Customer Complaints with Broker Erik Antener in Firm Park Avenue Securities LLC

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Antener (Antener), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Antener recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $150,000.00 on February 03, 2026.

Customer filed a FINRA arbitration alleging, among other things, that the registered representative engaged in unauthorized and unsuitable trading in connection with her investment accounts, including allegations that trades were effected without her knowledge or consent and without proper authorization. The matter remains pending.